DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B•••••• A•••• M••••••••• L••

Former SEC-registered adviserMarietta, GeorgiaCRD 153389SEC 801-71309IAPD
Latest filing Jul 24, 2017
First filing on the tape Feb 29, 2012 · 21 filings
RAUM
$59.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$71.6M as of Feb 14, 2017
Feb 29, 2012$151M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 14, 2017
Mar 7, 20132 then
Employees (5.A)5 as of Feb 14, 2017
Mar 7, 20136 then
Private funds: no history
RAUM -67% over the last fiscal year-36% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 24, 2017; every figure names its basis
RAUM per advisor
$29.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$116,765derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-60%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
507reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• T•••••• C••••••••• · Managing Member/Chief Compliance Officercontrol
        since 03/2010 · owns 50% to 75%
      • P•••••• M•••• S••••• · Managing Membercontrol
        since 03/2010 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 659 to 507
        Jul 20, 2017 to Jul 24, 2017
      • Discretionary RAUM · $61.8M to $59.2M
        Jul 20, 2017 to Jul 24, 2017
      • RAUM · $61.8M to $59.2M
        Jul 20, 2017 to Jul 24, 2017
      • Discretionary RAUM · $71.6M to $61.8M
        Jun 23, 2017 to Jul 3, 2017
      • RAUM · $71.6M to $61.8M
        Jun 23, 2017 to Jul 3, 2017
      • Advisory activities · 3 to 4
        Jun 5, 2017 to Jun 13, 2017
      • Accounts · 1,264 to 659
        Nov 16, 2016 to Feb 14, 2017
      • Advisory activities · 2 to 3
        Nov 16, 2016 to Feb 14, 2017
      • Assets in custody · 1090268.0 to unset
        Nov 16, 2016 to Feb 14, 2017
      • Employees · 6 to 5
        Nov 16, 2016 to Feb 14, 2017
      • Discretionary RAUM · $179M to $71.6M
        Nov 16, 2016 to Feb 14, 2017
      • RAUM · $179M to $71.6M
        Nov 16, 2016 to Feb 14, 2017
      • Accounts · 1,370 to 1,264
        Nov 9, 2015 to Mar 4, 2016
      • Advisory employees · 3 to 2
        Nov 9, 2015 to Mar 4, 2016
      • Assets in custody · $1.6M to $1.1M
        Nov 9, 2015 to Mar 4, 2016
      • Employees · 8 to 6
        Nov 9, 2015 to Mar 4, 2016
      • State-registered IARs · 3 to 2
        Nov 9, 2015 to Mar 4, 2016
      • Discretionary RAUM · $228M to $179M
        Nov 9, 2015 to Mar 4, 2016
      • RAUM · $228M to $179M
        Nov 9, 2015 to Mar 4, 2016
      • Accounts · 1,316 to 1,370
        Jan 5, 2015 to Mar 16, 2015
      • Assets in custody · $1.4M to $1.6M
        Jan 5, 2015 to Mar 16, 2015
      • Employees · 6 to 8
        Jan 5, 2015 to Mar 16, 2015
      • Discretionary RAUM · $227M to $228M
        Jan 5, 2015 to Mar 16, 2015
      • RAUM · $227M to $228M
        Jan 5, 2015 to Mar 16, 2015
      • Accounts · 1,193 to 1,316
        Jan 15, 2014 to Feb 21, 2014
      • Advisory employees · 4 to 3
        Jan 15, 2014 to Feb 21, 2014
      • Assets in custody · $1.1M to $1.4M
        Jan 15, 2014 to Feb 21, 2014
      • State-registered IARs · 2 to 3
        Jan 15, 2014 to Feb 21, 2014
      • Discretionary RAUM · $183M to $227M
        Jan 15, 2014 to Feb 21, 2014
      • RAUM · $183M to $227M
        Jan 15, 2014 to Feb 21, 2014
      • Accounts · 997 to 1,193
        Jan 8, 2013 to Mar 7, 2013
      • Assets in custody · $1.0M to $1.1M
        Jan 8, 2013 to Mar 7, 2013
      • Discretionary RAUM · $151M to $183M
        Jan 8, 2013 to Mar 7, 2013
      • RAUM · $151M to $183M
        Jan 8, 2013 to Mar 7, 2013
      • Advisory employees · unset to 4.0
        Feb 29, 2012 to Jan 8, 2013
      • Employees · unset to 6.0
        Feb 29, 2012 to Jan 8, 2013
      • State-registered IARs · unset to 2.0
        Feb 29, 2012 to Jan 8, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026